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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-10-23
  • FL RA
    APPROVED
    Since 2009-10-23

Branch Locations

101 E Kennedy Blvd, Tampa, FL 33602 • United States

22 Bull St, Savannah, GA 31401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America N.A Tampa FL 04/1996 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tampa FL 10/2009 Present
Bank Of America, N.A. Tampa FL 04/2011 Present
Previous Registrations
  • 2007-05-09 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Tampa, FL
    Tampa, FL
Other Businesses

CHRIST THE KING FINANCE COMMITTEE; NOT INV REL; TAMPA, FL 33609; RELIGIOUS; FINANCE COMMITTE MEMBER; APR 2008; 3 HRS/MO 1 DURING SEC TR HRS. BOYS & GIRLS CLUB OF TAMPA BAY; NOT INV REL; TAMPA FL 33607; CIVIC; MEMBER-BOARD OF DIRECTORS; JUL 2008; 4 HRS/MO 2 DURING SECS TRADING HRS. I*520356, Entity Type,Charitable, Name of OBA: Feeding Tampa Bay,Address:ampaFlorida33605 ,Investment Related:NO Position, Title, Association:Board Member Employee Start Date:07/01/2023 No Hours: 10 MONTHLY,No Hours during trading: 5 Duties: Feeding those in need,Board member.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-07
S63 Uniform Securities Agent State Law Examination 2000-06-19
  • S66 Uniform Combined State Law Examination
    2007-05-07
  • S63 Uniform Securities Agent State Law Examination
    2000-06-19

View on SEC IAPD

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